Purpose of the role:
To assist the Compliance Officer and the Compliance Officer of regulated client structures in the provision of compliance support.
Responsibilities:
- Execute CMP test plans and document CMP test results, actions and escalations
- In conjunction with the Compliance Officer(s), produce compliance monitoring reports including MI and statistical analysis of failures and issues to identify causes and remedial actions
- Acting as a Compliance Monitoring representative at Board and relevant Committee meetings as and when required
- Supervision of any ad hoc tasks and projects being undertaken
- Provide CMP improvement and scope suggestions to the Compliance Officers and Board
- Undertake “deep dive” and ad-hoc thematic monitoring
- Any other reasonable duties that may be assigned
Skills required:
- Compliance experience, ideally working in a Funds environment
- Professional Compliance Qualification at Diploma level preferable, but not necessary subject to relevant experience
- Exceptional, administrative, analytical and organisational skills are essential, with accurate and timely completion of work
- Good interpersonal, written and verbal communication skills, with the ability to communicate at all levels
- Working knowledge of Microsoft Office packages and applications, particularly Word, Excel and Access